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Securities regulation (1 - 10 of 77 items) in Custom Date Range

Dodd-Frank Act Regulations

Implementation Could Benefit from Additional Analyses and Coordination
GAO-12-151, Nov 10, 2011

Proprietary Trading

Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
GAO-11-529, Jul 13, 2011

Person-To-Person Lending

New Regulatory Challenges Could Emerge as the Industry Grows
GAO-11-613, Jul 7, 2011

Financial Regulation

Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
GAO-09-1049T, Sep 29, 2009

Regulation SHO

Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
GAO-09-483, May 12, 2009

Hedge Funds

Overview of Regulatory Oversight, Counterparty Risks, and Investment Challenges
GAO-09-677T, May 7, 2009

Securities and Exchange Commission

Oversight of U.S. Equities Market Clearing Agencies
GAO-09-318R, Feb 26, 2009

Financial Regulation

Review of Regulators' Oversight of Risk Management Systems at a Limited Number of Large, Complex Financial Institutions
GAO-09-499T, Mar 19, 2009

Bank Secrecy Act

Federal Agencies Should Take Action to Further Improve Coordination and Information-Sharing Efforts
GAO-09-227, Feb 12, 2009

Systemic Risk

Regulatory Oversight and Recent Initiatives to Address Risk Posed by Credit Default Swaps
GAO-09-397T, Mar 5, 2009

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